1. Field of the Invention
This invention relates generally to methods of identifying printed matter, more particularly to fraud prevention or detection, and most specifically to record activated printed matter authentification and fraud prevention using a central trusted authority accessible via the world wide web.
2. General Background
Forgeries in four different broad categories are considered: (a) paper currency; (b) cheques and other financial notes; (c) manufactured goods; (d) works of art. Forgery in the first two groups requires imitation in a printed medium while forgery in the latter two groups requires imitation with appropriate means of manufacture. Paper currency is issued only by governments while authorized financial institutions are licensed in the issuance of cheques and other financial notes which are further associated with a particular private entity and signature(s) in attaining legitimacy. Manufactured goods are contrasted to works of art as being mass produced instead of being made singly which necessitates the use of line production rather than individual creation. Forgery is most commonly associated with either counterfeit currency or fraudulent works of art but is considered properly comprehensive of fake bond notes and xe2x80x98knock offsxe2x80x99 of manufactured goods.
The concern with forgery with regard to paper currency is readily discernable in the lengths to which governments extend various printing technologies including use of serial numbers, extremely fine lithography, use of detectable materials, and regulation of the stock from which the currency is made. The success of these methods is generally difficult to ascertain objectively, even by parties authorized to investigate counterfeiting, but the problem is considered persistent, with a long and rich history. Prior to the U.S. Civil War banks issued paper currency and it is estimated that by 1860 one third of all circulated paper currency was counterfeit. As a strategic economic attack upon the British the Pound Sterling was counterfeited on a grand scale in Operation Bernhardt by The Third Reich.
More recently it is conjectured that the volume of counterfeit U.S. $100 bills produced largely by opposed regimes has deterred the issuance of notes of greater value despite an inflation of ten fold since notes of greater denomination were discontinued. One perceives large cash transactions as being held in suspicion and indeed regulations require registration of cash deposits of $10,000 or greater among other measures. The fact that this amount requires one hundred notes of the largest denomination of currently available legal U.S. currency is not unnoticed, nor the observation that this is one but one third of the money required to buy an automobile now for one of comparable quality which required only three notes fifty years ago.
It is further observed that paper currency comprises a decreasingly smaller proportion of other monies, particularly funds held and transferred electronically, that electronically processed cards, charge, credit, and debit along with other means of electronic transfer including automatic teller assisted services, world wide web (WWW) accessible electronic banking, electronic debits from checking and other accounts, have become ordinary and routine in less than twenty years. It is considered publicly plausible that currency of the conventional variety will be wholly replaced by electronic means within another twenty years and that, at the present rate of marginalization, conventional currency will be largely irrelevant by that time unless supported by readily accessible electronic authentification means.
As regards the second category, cheques and other financial notes, forgery is considered a less pervasive problem than obtained with regard to paper currency, largely because the parties involved usually have means of authentication available which are simply considered worth the while in exercising. This is not to say that fraud and forgery of financial notes is not a problem nor that the means of authentification are considered wholly satisfactory but that this area is distinguished over the forgery of currency wherein the identity of the valid issuer is a given. It was mentioned earlier that paper currency in the form of bank notes prior to consolidation under federal auspices experienced enormous problems with forgery and that consolidation clearly operated to deter forgery. The same principle is expected to apply to financial notes wherein benefit might be obtained with a simpler system which would provide relatively quick and easy positive identification of the issuer of the bond, certificate, or other note concerned. A greater impetus to forgery is observed with regard to paper currency as opposed to financial notes because paper currency is circulated between people who do not routinely exercise much if any caution regarding the acceptance of the note as genuine.
With regard to forgeries of manufacture the distinction between mass production and works of art has been proposed as a basis for useful categorization. With regard to the magnitude of the problems involved in these two areas it is suggested that the level of concern with fraudulent manufacture in mass produced product is commensurate with the importance of the patent system. For while patents are intended to protect and thereby promote innovation, the benefit to the patent holder is a monopoly limited in time to the product developed. The trademark system clearly reflects the extent of the damage which would obtain without the ability to identify one company from another with respect to their products and services. Design patents protect only the appearance of a product, and copyright only against verbatim reproduction, but both are considered valuable defenses against xe2x80x98knock offxe2x80x99 product which pretends to be of a manufacture it is not.
Works of art are perhaps the most dramatic if most difficult category to assess with respect to the magnitude of the problem posed by forgery. The practice is obviously prevalent as the common epigram xe2x80x98buyer bewarexe2x80x99 connotes. Aside from forgery outright the question of rightful ownership is considered another vast problem endemic to all areas concerned if more readily recognizable in the areas of mass produced goods and works of art. In cases of establishing rightful ownership the identities of the parties may be peripherally involved but the identity of the object is considered central. One may easily insure a valuable painting by a well known artist or a valuable automobile of which only a few thousand were made and the thief of the object may have a considerable problem in selling the stolen object unless the identify of the same can be obscured. The most frequently stolen cars in the U.S. are among those models with the highest sales figures because these cars can be taken apart in a xe2x80x98chop shopxe2x80x99 and sold piecemeal while essentially obliterating the identity of the vehicle. Rather than stealing a painting by a famous artist, for another example, the prospect of imitating the work of the same and affixing a facsimile of that famous artist""s signature upon the forgery may become a relatively attractive prospect. These observations are considered to point to the main problem underlying all areas of forgery and fraud: the difficulty in positively identifying the object, i.e. authentification of an object, not the parties involved.
3. Discussion of the Prior Art
In accordance with the emphasis placed upon authentification of an object, as opposed to identification of a person, resulting from the above consideration of the background of the present invention in general terms it is considered that while the latter is often relied upon in attaining the former, art which is only capable of establishing personal identification, without any ability to identify an object, which ability is understood herein by the term xe2x80x98authentificationxe2x80x99, is considered beyond the scope of the present discussion. It is next considered that as a practical necessity in authentification some means of marking the object must be utilized and that these means may be considered in four categories: (a) physical marking as a result of manufacture which is visible; (b) physical marking as a result of manufacture which is invisible; (c) application of visible markings; (d) application of invisible markings.
The markings, moreover, may either comprise conventional alphanumeric characters which may either utilize one or more codes or rely upon characteristics of the marking material. The present invention is concerned with and restricted to the use of codes, particularly visible, printed, codes which is a subset of category (c) application of visible markings. It is also noted that in order for codes to be useful a record or registry must be maintained and public access to that registry is necessary. Personal identification numbers (PINs) are well known secret codes which are expressly intended to never to be available to the public in visible form. Methods utilizing PINs for identification of a person only are hence excluded from the present consideration but methods utilizing a PIN as auxiliary to the use of a code printed upon an object, i.e. auxiliary to authentification, are comprehended.
Discussion of the References Cited
Smagala-Romanoff discloses a system whereby at least one masked individual number and another clearly visible number included with the serial number are printed on cheques and the xe2x80x98codexe2x80x99 providing conversion of one to the other is memorized by the cheque bearer. This xe2x80x98codexe2x80x99 may also be printed on the cheque, preferably using at least two different characters each alternately visible or masked and related to each other with a predetermined position of each in the respective series of digits. The masking of the xe2x80x98drawer""sxe2x80x99 signature is also disclosed which apparently would be of use only if the issuer and xe2x80x98drawerxe2x80x99 are the same person while the use of multiple code is suggested also to enable more than one authorized bearer or xe2x80x9cdrawerxe2x80x9d.
McNeight el al. disclose:
xe2x80x9ca method for identifying genuinely produced or properly sold mass produced articles from fake or diverted articles that may be identical or apparently so, comprising applying to said produced articles a coded identifying mark generated by a secret algorithm, and which is unique for each article of all such articles produced or which is applicable to only a small subset of such articles, the algorithm being such that the gamut of marks is under utilised. (Page 1, lines 50-60)
Use of the code to describe the article is suggested, with a central computer directory to which queries may be made by local inspectors, i.e. police. The use of xe2x80x98check digitsxe2x80x99 inconspicuously contained in the printed code in predetermined positions which are the most significant or least significant values of a number produced by treating the other numbers in the printed code with a certain algorithm is recommended.
Koza et al. disclose the use of two printed numbers, xe2x80x98bookxe2x80x99 and xe2x80x98integrityxe2x80x99, on the front and back, respectively, of a lottery ticket. The book number refers to a particular packet from which the ticket originated. The book and integrity numbers of the winning tickets are related by an algorithm known only to the manufacturer and the lottery administration. The book number is further preferably covered with a foil or other lamination removable after purchase. Means for simultaneous printing of both the front and back of the tickets with computer control is further disclosed.
Fehr discloses:
A system for identifying a lost pet and locating its owner (including) a central clearing house and a pet collar or tag having a telephone number and a unique code number imprinted thereon. Information about the pet and its owner is stored at the central clearing house under the unique number and is retrievable in response to a telephone call from a finder of the pet. (Abstract)
Stambler discloses use of a xe2x80x98joint codexe2x80x99 from information associated with one or more of the parties involved in a particular transaction requiring authentification of a document or other xe2x80x98thingxe2x80x99. The joint code is used to produce a xe2x80x98variable authentification numberxe2x80x99 or VAN, associated with the transaction and the item concerned. Subsequently only:
parties capable of reconstructing the joint code will be able to uncode the VAN properly in order to re-derive the information. The joint code serves to authenticate the parties, and the comparison of the re-derived information against the information recorded on the document serves to authenticate the accuracy of that information. (Abstract)
Molee et al. disclose xe2x80x98an authentification systemxe2x80x99 utilizing a unique code number which is fixed to the article xe2x80x9cwith a tamper-proof adhesivexe2x80x9d (Abstract). A certificate is provided bearing the same unique code number. xe2x80x9cA list of unique code numbers is maintained to enable a purchaser of the article to register that article such that the purchaser or a subsequent purchaser can verify the authenticity of the authenticated articlexe2x80x9d.
Apte discloses a method for securing internet transactions which utilizes an xe2x80x98isolated trusted directory serverxe2x80x99 (computer) which is accessible through a modem by a customer through a xe2x80x98communication networkxe2x80x99 which is xe2x80x98isolatedxe2x80x99 from the xe2x80x98openxe2x80x99 internet and which is accessible to the merchant through a xe2x80x98proprietary secure protocolxe2x80x99 protected line. A xe2x80x98transaction identification numberxe2x80x99 is issued and verified through the secure protocol line and this number is verified.
Kruckemeyer discloses use of an electronic fingerprint (EF) unique to each document bearing the xe2x80x98Principalxe2x80x99s signature and containing an invariant PIN selected by a the principal. Prior to registration of the EF the principal acknowledges physical possession of the document bearing the EF with use of their PIN. A record of transfer of the document or item is further maintained by a central registry. The more recent patent broadens the EF to include bar code.
Statement of Need
While the use of codes both printed and derivable from a printed code by algorithm in verification along with use of a PIN for identification of a person as associated with a code assigned to a document or other object is known as discussed above and while registration of such codes assigned to objects is also known the capability of altering that registration is unknown and at least one principal and several ancillary problems are discerned in an application of known methods in an attempt to provide this capability. The use of a PIN, which identifies a person, as auxiliary to a code which identifies an object, is restricted by its necessarily invariant nature. Transfer of ownership is not accommodated. The PIN must remain secret and substitution of one for another must be effected by a third party to the two parties relinquishing and acquiring ownership. Information contained in the code is inherently invariant in order to provide verification and no provision is known for recognizing changes in the status of the object with regard to the type of ownership a opposed to the identity of the owner.
With practical consideration of the problems encountered in identification of an object, as opposed to parties involved in a transaction, several areas of difficulty in the application of known methods of authentification may be recognized as facilitating a useful perspective upon the scope of the need addressed. In order to deter fraudulent manufacture generally and including forgery both special, i.e. expensive, methods and materials are necessary. Secondly, special equipment for detection is required along with expertise in detection. Thirdly, the verification of authenticity inevitably requires human interpretation which is considered subject to errors in judgement. A certain vicious cycle is recognized. Since imitation is to be avoided more sophisticated means of applying codes or other identifying marks have been pursued. But the more difficult the identifier is to imitate, the more difficult it becomes to exercise the capabilities required of authentification, and the less likely these capabilities will be commonly exerted.
A long felt but unresolved need is therefore recognized for an authentification method which, without the use of any special equipment or the exercise of any particular expertise, provides for positive identification of an object based upon a code printed thereupon in accordance with a registry which enables change in type of ownership to be recognized and effectable directly between two parties in a manner verifiable by both.
Objects of the Invention
The encompassing object of the present invention is a method for authentification which enables the possessor of a physical object to read a code affixed thereto and verify authenticity by consulting a registry which further indicates a ownership status reflecting type of ownership.
A primary object of the present invention is a method for authentification which enables the possessor of a physical object to read a code affixed thereto and verify authenticity by consulting a registry and which facilitates transfer of ownership between two parties in a manner verifiable by both.
An auxiliary object of the present invention is a method for authentification which enables the possessor of a physical object to read a code affixed thereto and verify authenticity by consulting a registry and which automatically effects appropriate changes in ownership status reflecting type of ownership.
Another auxiliary object of the present invention is a method for authentification which enables the possessor of a physical object to read a code affixed thereto and verify authenticity by consulting a registry and which is capable of verifying ownership by a particular person.
An first ancillary object of the present invention is a method for authentification which enables the possessor of a physical object to read a code affixed thereto and verify authenticity by consulting a registry accessible on the World Wide Web (WWW).
A second ancillary object of the present invention is a method for authentification which enables the possessor of a physical object to read a code affixed thereto and verify authenticity by consulting a registry and which further enables a party recognized as the owner to effect an automatic change in ownership status in association with selling the object concerned.
A third ancillary object of the present invention is a method for authentification which enables the possessor of a physical object to read a code affixed thereto and verify authenticity by consulting a registry and which further enables an individual to register as the owner of the object.
A fourth ancillary object of the present invention is a method for authentification which enables the possessor of a physical object to read a code affixed thereto and verify authenticity by consulting a registry and which further enables a registered individual owner to provide proof of ownership through disclosure of a secret code selected by the owner.
A fifth ancillary object of the present invention is a method for authentification which enables the possessor of a physical object to read a code affixed thereto and verify authenticity by consulting a registry which is applicable to paper currency.
A sixth ancillary object of the present invention is a method for authentification which enables the possessor of a physical object to read a code affixed thereto and verify authenticity by consulting a registry which is applicable to financial notes.
A seventh ancillary object of the present invention is a method for authentification which enables the possessor of a physical object to read a code affixed thereto and verify authenticity by consulting a registry which is applicable to mass produced manufactured goods.
An eighth ancillary object of the present invention is a method for authentification which enables the possessor of a physical object to read a code affixed thereto and verify authenticity by consulting a registry which is applicable to works of art.
Principles Relating to the Present Invention
In obtainment of the objectives given above it is suggested that a trinary code possessing three components be utilized wherein the first is related to origin, the second to authentification, and the third to ownership. It is suggested that the origin code possess invariant assignation to the creator and that the authentification code possess an assignation in accordance with an algorithmic rendering related to the origin code. And it is suggested that the ownership code possess a status reflective of the type of ownership which is variable in accordance with recognized changes thereof. It is further suggested that the origin code and preferably the authentification code also be affixed to the object preferably by printing directly upon the article concerned and that the same be held in a registry accessible via the world wide web (WWW). This enables anyone in possession of an article so coded to verify authenticity by entering both the origin and authentification codes. A two phased encoding is also facilitated whereby the creator may apply either the origin code alone and a second party taking authorized possession may enter the authentification code. The creator may, alternatively, assign both the origin and authentification codes.
Recognition of ownership and authorized changes in ownership in stages is facilitated. In addition to the implicit change in ownership possible from the authorized assignment of the authentification code by a party other than the creator the ownership code component reflects at least one of two states and accommodates changing from one state to another. The ownership code is variable and is not printed on any article. Ownership status reflecting the type of ownership is available in response to query of a registry containing the origin and authentification code and hence is normally available to anyone in possession of the article concerned. The ownership status may be simply xe2x80x98homexe2x80x99 or xe2x80x98fieldxe2x80x99 indicating possession by authorized entities or otherwise. This status may be trinary between xe2x80x98creator""s inventoryxe2x80x99, xe2x80x98authorized purveyor""s inventoryxe2x80x99, and xe2x80x98soldxe2x80x99 and may be expanded to include as many types of authorized entities as considered desirable.
It is considered desirable to enable recognition of ownership by a private party as well as one or more types of authorized entities. With a binary ownership status, wherein xe2x80x98homexe2x80x99 and xe2x80x98fieldxe2x80x99 categories alone are recognized, it may further be preferred that this constitute the full extent of recognition of ownership by a private party which in this case corresponds to the public at large which is opposed to authorized entities. A relatively simple trinary ownership status might also simply recognize the article as being in the public without the capability of a private owner registering the article. Ownership status may also reflect registered ownership by a private entity with the use of a secret ownership code subcomponent selected by the private entity. The ownership status is still available to any party entering the origin and authentification codes and it reflects not only ownership by a private party, e.g. sold by an authorized purveyor, but indicates that the article concerned has been registered by the private owner with a secret ownership code subcomponent.
Registered transfer of ownership at all levels is encompassed in a manner appropriate to every category of physical object. In categories in which registered private ownership is desirable a transfer of that registered ownership is effected by changing the secret ownership code subcomponent which is disclosed to a purchaser who may then access that secret ownership code subcomponent in verification of ownership and also substitute another secret ownership code subcomponent unknown to the seller. Ownership status, available to anyone in possession of the printed origin and authentification code, may indicate that the article concerned has been registered a second, or third, et cetera, time. It is understood that computer technology is involved in both the generation of algorithmically derived authentification codes, registry of all codes and code subcomponents and that posting of the registry on the WWW is the preferred manner of access to the registry.
In addition to the secret ownership code subcomponent it is recommended that the origin and authentification codes possess subcomponents. It is specifically suggested that the origin code contain a subcomponent which is invariant to the creator and a subcomponent which reflects information including time and location of origin. The authentification code may be derived algorithmically from the origin code and it is recommended that at least a portion of the authentification code be the direct result of an algorithm applied to a certain portion of the origin code. The algorithm utilized however, may be determined by a separate authorized access registry related to the origin code. And the authentification code may contain two or more subcomponents which each may be algorithmically derived from a subcomponent of the origin code.